SP CAPITAL PARTNERS, LLC of NEW YORK, NY is an SEC exempt reporting adviser (CRD 297220).
| Name | Role | Location |
|---|---|---|
| Laurence Joseph Smith | VICE PRESIDENT/BOARD OF MANAGERS | — |
| Markus Klaus Schmalhofer | COO/TREASURER | — |
| Ryan James Frampton | SECRETARY LEGAL COUNSEL | — |
| Edward West Valentine | PRESIDENT/BOARD OF MANAGERS | — |
| Ashley Hogue Van Der Waag | CHIEF COMPLIANCE OFFICER | — |
| John Neuner | BOARD OF MANAGERS | — |
| Danica L Griffith | BOARD OF MANAGERS | — |
| SMITH JOHN JOSEPH | PARTNER; VICE PRESIDENT/BOARD OF MANAGERS | — |
| MIICKE BLAIR | SECRETARY LEGAL COUNSEL | — |
| GRIFFITH JOHN L | BOARD OF MANAGERS | — |
| TINO ANDREW DAVID | CHIEF COMPLIANCE OFFICER | — |
| HARRIS H HITER | BOARD OF MANAGERS | — |
| ZOLLER ERIC N | PARTNER; PRESIDENT/BOARD OF MANAGERS | — |
| OVERSTROM ALEXANDER EDWARD CADWELL | BOARD OF MANAGERS | — |
| LAVOIE JEFFREY | CHIEF OPERATING OFFICER | — |
| SCHMALHOFER MARKUS KLAUS | COO/TREASURER; TREASURER | — |
| Ghossain David | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/TREASURER | — |
| PUMPHREY MARY PATRICIA | CHIEF COMPLIANCE OFFICER | — |
| FRAMPTON RYAN JAMES | SECRETARY LEGAL COUNSEL | — |
| VALENTINE EDWARD WEST | BOARD OF MANAGERS | — |
| VAN DER WAAG ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-07-18 | regulatory | THE OCC ALLEGED THAT PNC BANK, NA FAILED TO FORCE PLACE INSURANCE IN A TIMELY MANNER ON RESIDENTIAL DESIGNATED LOANS IN VIOLATION OF THE FLOOD DISASTER PROTECTION ACT (FLOOD ACT). | Final | $2.6M |
| 2018-05-01 | regulatory | THE OCC ALLEGED THAT PNC, NA BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT IN CONNECTION WITH THE WAIVER OF CERTAIN FEES AND THE LINKING OF ACCOUNTS FOR OVERDRAFT PROTECTION TRANSFERS. | Final | $15.0M |
| 2018-05-01 | regulatory | THE OCC ALLEGED THAT PNC BANK FAILED TO ADHERE TO THE REQUIREMENTS OF SECTION 102 OF THE FLOOD DISASTER PROTECTION ACT AND ITS IMPLEMENTING REGULATIONS IN CONNECTION WITH 125 COMMERCIAL LOANS. | Final | $207K |
| 2017-12-01 | regulatory | ON SEPTEMBER 30, 2019, THE COMMODITIES FUTURES TRADING COMMISSION (CFTC) FILED AND SETTLED CHARGES AGAINST PNC BANK, NATIONAL ASSOCIATION (PNC), A PROVISIONALLY REGISTERED SWAP DEALER, FOR FAILING TO COMPLY WITH PNC'S SWAP REPORTING OBLIGATIONS AS A SWAP DEALER. ACCORDING TO THE ORDER, PNC FAILED TO… | Final | $300K |